Principal Adviser Participant Supervision Admissions

When you join ASX youre joining a company with a strong purpose to power a stronger economic future by enabling a fair and dynamic marketplace for all.

In your new role youll be part of a leading global securities exchange with a strong brand. We are known for being a trusted market operator and an exciting data hub.

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are more than a securities exchange!

The ASX team brings together talented people from a diverse range of disciplines.

We run critical market infrastructure with 1 in 3 people employed within technology. Yet we have a unique complexity of roles across a range of disciplines such as operations program delivery financial products investor engagement risk and compliance.

Were proud to foster a workplace where diversity is celebrated and inclusion is part of our everyday culture. Our employee-led networks champion LGBTIQ inclusion promote gender equality accessibility and wellbeing inspire giving and volunteering and celebrate cultural and religious events creating a sense of belonging for all. As an AWEI Bronze employer and member of the Champions of Change Coalition for gender equality were committed to a fair and inclusive workplace where everyone can thrive.

Participants Supervision is a specialist function established by ASX to monitor and enforce compliance with the ASX Group Operating Rules by participants it plays a key role in ensuring ASX meets its licence obligations. The Participant Supervision team is responsible for broad participant management including investigations into potential non-compliance admissions and on-going and proactive monitoring and review of participants for compliance with the operating rules.

The team is structured across three specialised areas Admission & Monitoring Participant Transitions and Participant Insightseach focusing on distinct stages of the participant lifecycle and aspects of ongoing compliance oversight. This role provides senior compliance oversight of participant admissions ensuring rigorous assessment of applicants against admission criteria and supporting sound compliant admission decisions in line with ASX Operating Rules.

Your responsibilities:

• In this role you will manage the end-to-end admission and onboarding of participants ensuring only suitable entities are approved to access ASX markets and clearing and settlement facilities:

• Manage and assess participant admissions

• Lead end-to-end compliance assessment and decision-making for new participant applications

• Act as the primary contact throughout the application assessment

• Review application materials due diligence outputs and supporting documentation

• Assess applicants operational governance and risk management capabilities

• Ensure compliance with ASX market and facilities Rules and admission requirements

• Identify gaps and drive remediation actions prior to admission approval

• Provide advice on ASX admission requirements

• Interpret Operating Rules and provide clear guidance to applicants and internal stakeholders

• Manage complex or novel admission scenarios including waivers and/or conditions

• Support the design development and delivery of education initiatives to support applicants and newly admitted entities in understanding and meeting ASX admission requirements and ongoing obligations.

• Providing proactive education to applicants on admission criteria listing rules and expectations to support high-quality and efficient applications as applicable

• Identifying common issues knowledge gaps and emerging trends in admission applications to inform targeted process improvements

• Support in the design and continuously improve admission frameworks enhance admission policies procedures and assessment methodologies

• Ensure alignment with evolving regulatory expectations and market developments

• Support participant readiness and onboarding

• Oversee transition from approval to operational readiness (e.g. connectivity testing controls validation)

• Collaborate with internal teams (e.g. technology operations)

• Protect market integrity at the point of entry

• Ensure risks are identified and mitigated before granting access to ASX markets and facilities

• Apply robust judgement in approving conditioning or declining applications

• Contribute to team capability

• Provide technical leadership mentoring and training in admission processes

• Share insights and lessons learned to strengthen admission practices

• Ensure staff are crossed trained to ensure appropriate coverage across the team.

• Undertaking other duties as required.

Must have:

• A tertiary qualification in law accounting finance business economics or related disciplines

• At least 10 years relevant industry or professional experience

• Good understanding of Australias financial markets and operations or international comparative covering equities derivatives OTC clearing and settlement

• Practical knowledge of the competencies required to operate in the ASX markets and clearing and settlement facilities (or international comparison)

• Practical knowledge of compliance and risk methodologies

• Highly developed analytical investigative and problem-solving abilities

• Exceptional verbal written presentation and communication skills

Nice to have:

• Able to manage the pressure of urgent matters and competing priorities

• An enquiring mind and the determination to push back when information or explanations provided by participants appear inadequate

• Agile Adaptable & Resilient able to manage change and be positive

• Objectivity and fairness

• An eye for detail and a concern for quality

We make hiring decisions based on your skills capabilities and experience and how youll help us to live our values. We encourage you to apply even if you dont meet all the criteria of this role.

If you need any adjustments during the application or interview process to help you present your best self please let us know at

At ASX Group our diverse workforce is essential to build and maintain a fair and dynamic marketplace. We support flexible working and offer hybrid working options. Even if our roles are advertised as full-time we encourage you to apply if you are interested in part-time or other flexible working arrangements.

We will arrange for successful candidates to have background checks including reference and police checks completed as part of the on-boarding process.

To be considered for this position candidates must be legally authorised to work in Australia on a permanent basis without any restrictions.